The Premier Course for Ethics & Compliance Training

Take a deep-dive into the advanced-level material you need to know to lead, evaluate and sustain a High-Quality E&C Program. Upon completion of the E2C ethics training course, you will be prepared to take the exam to earn your Leadership Professional in Ethics & Compliance (LPEC) certification. Both the E2C course and LPEC certification demonstrate your and your organization’s commitment to supporting strong and effective ethics and compliance programs.

Start this ethics training today, grow as a professional, advance your career, and raise your profile in the E&C community.

Three ways to participate.

E2C is available in multiple formats to meet the ethics training needs and learning preferences of you and your organization. Register below or contact us at e2c@ethics.org if you have questions. Group rates are available.

On-Demand Ethics Training

  • On-demand course delivered in a lively and engaging manner
  • Convenient, self-paced learning with 24/7 access to course
  • Comprised of 18 multimedia sessions (approximately 15-20 minutes each)
  • Ability to go back and review material
  • Includes access to E2C discussion board and supplemental workbook
  • Learn on the go with mobile access
  • In-person office hours with expert E&C practitioner
Register for On-Demand Now

Live Ethics Course

  • Real-time multimedia course delivered online in a lively and engaging manner
  • All sessions led by E&C expert practitioner
  • Comprised of 6 sessions (1.5 hours each)
  • Includes access to E2C discussion board and supplemental workbook
  • Course begins Tuesday July 28 with classes on the following days:

    July 30

    Aug. 4

    Aug. 6

    Aug. 11

    Aug. 13

    LPEC exam Aug. 18

  • View Live Course Outline
  • Review Live FAQs
Register for Live Course

Custom Workshop

  • Bring E2C training to your team or organization
  • Ideal for on-boarding new staff or regular professional development
  • Custom options available including on-demand, live and instructor-led content delivery
  • Add workshops to E2C training to discuss issues unique to your company or industry
  • Includes access to E2C discussion board and supplemental workbook
Contact ECI for details

Elevating Ethics and Compliance (E2C) Training is now On-DEMAND!

Our popular ethics & compliance training is now available on your time, 24/7 or even for a weekend binge.

E2C is a comprehensive ethics course of 18 segments covering all of the material required to earn your LPEC certification. These segments are approximately 15 minutes in length and are provided online and mobile ready.

This is not a program on fundamentals, it is a deep-dive into how to lead, evaluate and sustain high quality ethics and compliance programs. We want you to think of it as the “next level” of your ethics and compliance education. A list of prerequisite topics and related articles will help you prepare for E2C. You should be familiar with these topics, timelines and important guidelines, standards or enforcement actions.

You will complete E2C with a better understanding of the role of a compliance profession and will join a distinguished list of E2C graduates equally committed to our industry.

Completion of E2C qualifies you to take the Leadership Professional in Ethics & Compliance (LPEC) certification examination and obtain the LPEC designation.

NEW FOR 2020

Along with on-demand training, we are now offering on-site workshops for group ethics training. After your team has completed the on-demand training, we bring them together as a group for a day of case studies, discussion of best practices and time for Q&A to bring their E2C training to life.

  • All E2C instructors are highly recognized leaders in the E&C profession, each with decades of experience
  • Emphasizing the value of peer-to-peer learning, each workshop features facilitated, small-group dialogue and sharing
  • The workshop discusses finding the right balance of building a culture of integrity and managing governance, risk and compliance.

Have something else in mind for your team? Talk to us about custom training!

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About the Coursework

We are all accustomed to having information readily available, finding the answers we need within minutes and relying on our mobile devices. ECI realized that this need for immediacy has dramatically changed people’s expectations of workplace learning.

Today’s learners want the same flexibility, speed and accessibility, and that is why we moved E2C to on-demand training. The ethics training course is a combination of videos and self-directed online study. We support your learning with online scholarly articles, white papers and practitioner best practices. This approach focuses on context and productivity.

With E2C on-demand, you take control your learning. Because you have access to the learning materials any time and place, you set a pace that makes you comfortable, and you can easily connect to our help desk of subject matter experts or dialogue with other students. Don’t forget, you can start and stop whenever you want, go back to review a point or take a course many times over.

E2C on-demand is all about convenience and flexibility. But most of all, you can put many of the sessions to practical use immediately!

Pricing and Registration

E2C Online Course Registration Rates

Note: The prices below indicate the cost of the course and the LPEC exam sitting fee of $250.

TypeNon-MemberECI MemberGovernment or Non-profit
Individual$1245$1045$945
Group of 2 or 3 (registered at the same time)$1145$945$845
Group of 4 or more each (registered at the same time)$1095$895$795

Interested in training a larger group, combining LPEC certification, or a post-training workshop? Contact us at certification@ethics.org or call 571.480.4415.

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E2C Course Sessions – Agenda

  1. Introduction to E2C ethics training course
  2. An Introduction to the Importance and Value of the Five HQP Principles
  3. Understanding the HQP Measurement Framework™
  4. The Value of the Chief Ethics and Compliance Officer
  5. The Role of the Chief Ethics and Compliance Officer
  6. Assessing a Code of Conduct
  7. Positioning E&C with the CEO, C-suite and Board of Directors
  8. Building and Leveraging Influence
  9. The Transition from Governance Risk Compliance (GRC) to Integrated Risk Management (IRM)
  10. Components and Tactical Understanding of the Enterprise Risk Management Process
  11. Defining the Necessary Countermeasures to Mitigate Risk
  12. The Role of Leaders in Setting the Tone for a Culture of Integrity
  13. Building, Sustaining and Measuring a Culture of Integrity
  14. Understanding and Dealing with the Problem of Retaliation
  15. Developing a Consistent, Repeatable Review, Triage and Follow-up Process for Reports and Inquiries.
  16. Implementing a Problem-focused Investigation Process
  17. Continuous Program Improvement: The Journey Never Ends
  18. LPEC Review

Prerequisites

The Elevating Ethics & Compliance training program, or E2C, assumes that when you take this training you have a wide-ranging background in ethics and compliance (E&C). E2C is not a beginner’s course in the history of E&C, although the history of our industry is something you should know before starting E2C. E2C is the training course for individuals looking to expand their applicable knowledge of E&C and prepare for the role as an E&C leader. For more than 40-years the role and requirements of an effective ethics and compliance (E&C) program have morphed and changed. Much of the change was due to legislation and guidelines designed to reverse or curtail a period of fraud and abuses. You should be familiar with each of these periods or “eras” and the resulting legislation, guidelines, standards or enforcement actions.

  • Caremark Decision (1996)
  • Directors have a duty of oversight – they must take steps to be informed about a company; it is not enough to say they didn’t know the company was involved in illegal/corrupt practices
  • Sarbanes-Oxley Act (U.S. – 2002)
  • Established responsibilities of a public corporation’s board of directors
  • Made senior executives individually responsible for the accuracy and completeness of corporate financial reports
  • USSC Guidelines
    • “…high-level personnel…” are responsible for ensuring that the organization has an effective ethics and compliance program
    • These individuals must report “periodically to high-level personnel and, as appropriate, to the governing authority” on the effectiveness of the program.
  • UK Bribery Act Guidance
  • OECD Good Practice Guidance
  • Initiatives Spawned by Government Contracting Fraud
    • S. Foreign Corrupt Practices Act of 1977 (FCPA)
      • Intent was to end the bribery and to restore public confidence in American business
      • Made it illegal for a US person to make any payment to a foreign government official to obtain or retain business
      • Narrow facilitation payment exception for “routine governmental action” with proper documentation
      • Applies to US companies, US citizens, nationals and residents, foreign companies listed on any US securities exchange
  • Blue Ribbon Packard Commission
    • Appointed by President Ronald Reagan (1985)
    • Chaired by David Packard, CEO of H-P, and former DoD Secretary
    • Conducted a study of government procurement practices
    • Report issued
      • Recognized obvious limitations of the federal government
      • Acknowledged that industry self-regulation was needed
      • Recommended that defense contractors should adopt codes of ethics
  • Defense Industry Initiative (DII)
    • The first of its kind… (1986)
    • 18 original signatories – now 77
    • Voluntary, industry-wide code of conduct or set of business principles focused on maintaining internal controls and governance systems; and
    • Precursor to the US Sentencing Commission Guidelines on the “8 elements of an effective ethics and compliance program”
  • Chapter 8 – “7 Elements of an Effective Compliance Program” (1991)
    • US Sentencing Commission Guidelines (USSC)
    • Voluntary… carrot and stick approach
      • Intended to influence organizational behavior
    • Provided opportunity to reduce fines if organizations could demonstrate that they had effective compliance program
  • Caremark Decision
    • 1996 – Caremark Decision (Delaware Chancery Court)
    • Served as a wakeup call to corporate boards
    • Established the duty of care and the duty of loyalty of the Board
      • Increased monitoring
      • Scrutiny over internal controls

US Department of Health and Human Services / Office of Inspector General (HHS/OIG)

  • Developed series of compliance plan guidance documents directed at various segments of health care industry
  • Voluntary guidance – principles to follow when developing compliance program
  • Identify “fraud” and “abuse” risks to watch out for when creating your program
  • Corporate Integrity Agreements – Role of General Counsel
  • Caremark Decision (1996) – Renewed emphasis
  • Sarbanes-Oxley Act of 2002 (SOX)
    • Enacted in response to Enron, WorldCom, Tyco, et al
    • Established Public Company Accounting Oversight Board (PCAOB) under SEC
    • Required segregation of audit and consulting services
    • Enhanced transparency and corporate governance standards around internal controls and financial reporting(e.g. restrictions around insider transactions, certification of financial reports accuracy, increased responsibility and independence of Board Audit Committees and their members)
    • Applies to all publicly held American Companies, international companies registered with the SEC, and third party financial services providers
  • Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank)
    • Set out to promote financial stability and reshape the U.S. regulatory system in a number of areas including:
    • Monitoring financial stability (Financial Stability Oversight Council)
    • Consumer protection (Consumer Financial Protection Bureau)
    • Trading restrictions (Volcker Rule)
    • Credit ratings (SEC Office of Credit Ratings)
    • Strengthened SOX Whistleblower program
  • NYSE/NASDAQ Listing Requirements (2002)
  • Raised corporate standards with respect to:
  • Governance
  • Compliance
  • Disclosure requirements
  • S. Sentencing Commission (USSC) Guidelines Amendments
  • 2004 amendments to the USSC Guidelines
  • Focuses bright light on ethics and culture
  • Rules-based program is just not good enough
  • Consideration must be given to culture
  • Requires periodic risk assessment
  • 2010 amendments to the USSC Guidelines
  • More direct CECO access to the Board/Senior Management
  • False Claims Act (FCA)
    • Contains qui tam, or whistleblower, provisions, which allows citizens with evidence of fraud against government contracts and programs to sue, on behalf of the government, in order to recover the stolen funds.
    • Provides for up to triple damages and also awards of 15 to 30 percent of recoveries for those bringing cases.
  • OECD Convention Against Bribery of Foreign Officials (1999)
  • OECD Convention Against Bribery of Foreign Officials (1999 as amended in 2009)
  • Monitoring – Established Working Group to monitor activities of signatory countries
  • Cooperation – law enforcement agencies of signatory countries
    • OECD Good Practice Guidance on Internal Controls, Ethics and Compliance (2010)
      • Program Oversight and Management
      • Standards and Procedures
      • Training and Communication
      • Application of Consistent Disciplinary Standards
      • Checking Evaluation and Reporting
      • Periodic Risk Assessment
    • UN Convention Against Corruption (2005)
      • First globally binding international anti-corruption convention
      • Prevention and criminalization of corruption, international cooperation, asset recovery
      • International treaty
      • 141 signatory countries – 181 as of December 2016
    • UK Bribery Act (2010)
      • Prohibits bribing another person, being bribed, bribing a foreign official
      • Holds organizations liable for acts anyone commits on their behalf
      • Extends to commercial transactions (not limited to foreign officials)
      • New offense: failure of a corporation to prevent the payment of a bribe
      • Prohibits facilitation payments
      • Adequate Procedures Defense: adequate procedures, top level commitment, risk assessment, due diligence, communication and training,  and monitoring and review
      • Applies to individuals committing bribery in the UK or committing bribery overseas where the individual has a close connection to the UK; a UK corporation/partnership or foreign corporation/partnership engaging in business or part of a business in or outside the UK
    • FCPA Compliance Program Guidance (2012)
      • Jointly issued by DOJ and SEC
      • Helpful guidance to organizations doing business abroad on a variety of issues
      • Provided important guidance for E/C professionals, often considered a blueprint for what the DOJ and SEC considered to be an effective E/C program.
    • DOJ Statement: Morgan Stanley (2012)
      • Morgan Stanley’s former managing director and real estate chief in China (Garth Peterson) pleaded guilty to evading the company’s internal controls. In 2012, DOJ issued a statement including the following:
        • Joint-ventures and subsidiaries

The DOJ Memorandum summed up the three essential elements of a compliance program in the April 2019 Memorandum.  This publication, which provides guidance to the Department of Justice’s (DOJ’s) white-collar prosecutors on their evaluation of corporate compliance programs, was an update to an earlier memorandum issued by the Fraud Section in 2017.

  • First, is the program well designed?
  • Second, is the program effectively implemented?
  • Third, does the compliance program actually work in practice?

Other areas for program evaluation include a general understanding of risk management.

  • Ensure compliance with policies and the law
  • Reflect the changing economic and regulatory environment
  • Train to your risks
  • Assess effectiveness of mitigation steps
  • Engender an environment of psychological safety open to stakeholder feedback
  • Review your program toward constant improvement
  • Business cycle
  • Business strategy
  • Size of the business
  • Products and services
  • Reputation of the business
  • Location of the operations
  • Internal and external stakeholders
  • Mission, vision, and values (espoused and lived)

The E2C prerequisite simply requires 1) a familiarity with the most common guidelines e.g., United States Sentencing Committee (USSC) guideline, 2) knowledge of appropriate guidelines for your industry or organization, and 3) an understanding of how NGO activities, standards and guidelines impact your E&C program.  Here are some examples:

  • USSC Guidelines
  • OECD Good Practice Guidance on Internal Controls, Ethics, and Compliance
  • OIG Compliance Plan Guidance
  • HHS – health care industry
  • DOJ/SEC FCPA Resource Guide
  • ISO 19600: Compliance Management Systems Standard (2014)
    • International Organization for Standardization
    • Establish and improve compliance by developing, implementing, evaluating and maintaining an effective compliance management system
  • ISO 37001 Bribery
  • ISO 19600: Compliance Management Systems Standard (2014)
  • ISO 37001: 2016 anti-bribery management
  • Non-Legislative Industry Standards
    • Defense Industry Initiative (DII)
    • PhRMA Code
    • Pharmaceutical Research and Manufacturers of America
    • Code on Interactions with Healthcare Professionals
    • Institute of Nuclear Power Operations (INPO)
  • GAAP – Generally Accepted Accounting Principles
    • A collection of rules and procedures and conventions that define accepted accounting practice
    • Used principally in the U.S.
    • SEC wants to move to IFRS
  • IFRS – International Financial Reporting Standards
    • A set of accounting standards developed by the International Accounting Standards Board (IASB) that is becoming the global standard for the preparation of public organization financial statements
    • Used in European Union and many other countries

A general understanding of the Board and CEO’s governance requirements of the E&C function. Examples include:

  • E&C relationships and responsibility to the board
  • Appreciate the many considerations involved with an organization’s decision regarding where the E&C office should report.
  • Understand the general needs and goals of internal and external E&C stakeholders.
  • Know common examples of what E&C information to report to a governing authority.

The Role of an Audit or Risk Committee (AC) of the board:

  • AC responsible for overseeing E&C program
  • AC reviews and assess the adequacy of the Code of Conduct and effectiveness of the E&C program
  • AC monitors and reviews effectiveness of helpline and management approach to resolution and discipline
  • AC receives regular reports from CECO / Legal regarding significant matters of non-compliance
  • Role of the Corporate Compliance Committee
  • Develops and recommends organization-wide compliance policies and best practices
  • Reviews compliance issues
  • Provides oversight for, and assists Senior Management in leading, the organization’s compliance program
  • “Companies should consider… the following good practices: oversight of ethics and compliance programs… authority to report matters directly to… internal audit committees of boards of directors…”
  • The General Counsel Model
  • The CEO/Executive Team Model
  • The “None of the Above” Model
  • The Ideal Model for Independence

Elevating Ethics & Compliance (E2C) Resources

Ethics & Compliance Certification Institute (2016). Principles and Practices of High-Quality Ethics & Compliance Programs: Report of ECI’s Blue Ribbon Panel. Arlington, VA: Ethics & Compliance Certification Institute.

  • Ethics Resource Center (2007). Leading corporate integrity: Defining the role of the chief ethics & compliance officer (CECO). Arlington, VA: Ethics Resource Center.
  • Ethics Resource Center (2015). Ethical leadership: Every leader sets a tone. Arlington, VA: Ethics Resource Center.
  • Ethics Research Center (2016). Global Business Ethics SurveyTM: Measuring Risk and Promoting Workplace Integrity. Arlington, VA: Ethics Research Center.
  • Ethics Resource Center (2014). National business ethics survey 2013®. Arlington, VA: Ethics Resource Center. (pg. 19 “strong ethics culture”)
  • Ethics Resource Center (2012). National business ethics survey® 2011: Workplace ethics in transition. Arlington, VA: Ethics Resource Center.
  • Ethics Resource Center (2012). Encouraging employee reporting through procedural justice. Arlington, VA: Ethics Resource Center.
  • Ethics Research Center (2015). Increasing employee reporting free from retaliation: Insights from the National business ethics survey® 2013. Arlington, VA: Ethics Research Center.
  • Ethics Resource Center (2012). Inside the mind of the whistleblower. Arlington, VA: Ethics Resource Center.
  • Ethics Resource Center (2011). Accepting responsibility responsibly: Corporate response in times of crisis. Arlington, VA: Ethics Resource Center.
  • Ethics Research Center (2017). GBES Ethical Leadership Report. Arlington, VA: Ethics Research Center.
  • Ethics & Compliance Initiative (June 2018). 2017 Global business ethics survey: Measuring the impact of ethics & compliance programs. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (2019). 2019 Global business ethics survey: Global differences in employees’ views of E&C program maturity. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (2019). 2019 Global business ethics survey: The link between supervisor and leadership workplace behaviors: A global look. Vienna, VA: Ethics & Compliance Initiative.
  • ECI Working Group Papers
  • Ethics & Compliance Initiative, Kaplan & Walker LLP (2016). Conflicts of interest: An ECI benchmarking group resource. Arlington, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (2019). Respectful workplace: ECI working group paper. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (2018). Using your organization’s performance evaluation system to drive ethical conduct: ECI best practices paper. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (2019). Hotlines and investigations: ECI working group paper. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (2018). ECI benchmarking group on ethics ambassador programs: ECI best practices paper. Vienna, VA: Ethics & Compliance Initiative.

Ethics & Compliance Initiative (2019). ECI Working group paper. Essential skills & qualities of the ethics & compliance professional: Today and in the future. Vienna, VA: Ethics & Compliance Initiative.

  • Ethics & Compliance Initiative (September 2019). EthicsStat: Retaliation in the workplace. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (December 2019). EthicsStat: Do employees believe their supervisors are effective? Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (August 2018). EthicsStat: High pressure cultures and sexual harassment. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (December 2018). EthicsStat: Why don’t employees speak up about misconduct? Vienna, VA: Ethics & Compliance Initiative.
Pulse surveys present findings about topics relevant to the E&C field. Data from pulse surveys are collected from Ethics & Compliance Association (ECA) members through short polls. Participants are practitioners in the E&C field; including CECO’s and E&C professionals. Numbers of respondents range between 30 and 90. Findings from pulse surveys are not representative of the industry but are provided for informational purposes.

  • Ethics & Compliance Initiative (February 2019). ECI Pulse survey results: Technology. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (June 2019). ECI Pulse survey results: Training in E&C. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (August 2019). ECI Pulse survey results: Awareness of E&C program: Communication. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (March 2018). ECI Pulse survey results: Whistleblower policies and practices. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (June 2018). ECI Pulse survey results: Ethics and Compliance Training. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (August 2018). ECI Pulse survey results: Terms and Conditions of E&C Officer Positions. Vienna, VA: Ethics & Compliance Initiative.
  • Ethics & Compliance Initiative (March 2017). ECI member survey: Ethics liaisons. Arlington, VA: Ethics & Compliance Initiative.

Cancellation Policy

Cancellations made at least 14 calendar days before the course start date will receive a full refund. Cancellations made after this date are not eligible for a refund, but a credit may be applied to a future course within 12 months.

LPEC Certification

LPEC certified ethics & compliance practitioners have positioned themselves as experts in the field. LPEC certification shows that you have the requisite, working knowledge to build and sustain thriving E&C programs to the highest possible standard.

LPEC Certification requires 6 CEU hours (fulfilled by E2C training) and passing the 80-question proctored LPEC exam. The exam fee is $250, and is delivered online via Examity.

The LPEC certification renews every two years for a fee of $150.

Available to members and non-members.

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